John E. Lauten

M. S. HOWELLS & CO.

Winston Salem, NC 27107

Some features on this profile are disabled

CRD#: 4571153

Professional summary

John Eric Lauten, who also goes by J. Eric Lauten, John Eric Lauten, is a registered financial professional currently at M. S. HOWELLS & CO. located in Winston Salem, North Carolina.

John is registered as a RR (Registered Representative) and started their career in finance in 2002. John has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

J. Eric Lauten | John Eric Lauten

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Eric Lauten's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 16, 2019 - Present

M. S. HOWELLS & CO.

Office #1: 8606 N Nc Hwy 109, Winston Salem, NC 27107

CRD#: 104100

Winston Salem, NC

Past

March 14, 2006 - August 16, 2019

TRIAD ADVISORS LLC

CRD#: 25803

WINSTON SALEM, NC

Past

November 13, 2002 - March 15, 2006

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(8/16/2019)

South Carolina
(2/19/2021)

Virginia
(8/16/2019)

Wisconsin
(8/16/2019)

Exams

State Security Law Exam

Series 63

Date: 12/5/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/12/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

M. S. HOWELLS & CO.

CRD#: 104100 / SEC#: , 8-52558

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

23350 N. Pima Rd., Scottsdale, AZ 85255

Mailing Address

23350 N. Pima Rd., Scottsdale, AZ 85255

Phone number

(480) 563-2000

Established

Delaware since 04/11/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE	OWNER
SANTAMARIA, KATRINA PATRICIA	CHIEF EXECUTIVE OFFICER	3248779
CRITES, MARCY ANN	FINANCIAL AND OPERATIONS PRINCIPAL (FINOP)	6346298
HOWELLS, MARK STEPHEN	TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997	726921
HOWELLS, MARK STEPHEN	EXECUTIVE CHAIRMAN/DIRECTOR	726921
JORDAN, CHRISTOPHER SHANE	CHIEF COMPLIANCE OFFICER	2843281
KREIZENBECK, TARA LYNN	CHIEF OPERATING OFFICER	7141895

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Hatem Dhiab

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

IAR

SANTA MONICA, CA

Jeffrey Kropp

OSAIC WEALTH, INC.

IAR

Chadds Ford, PA

Cathy Cash

MORTON WEALTH

IAR

Santa Barbara, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John E. Lauten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Eric Lauten's CRS (Customer Relationship Summary).

Certified licenses

Experience

M. S. HOWELLS & CO.

TRIAD ADVISORS LLC

OSAIC FS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/2003

SIE

Date: 10/1/2018

Series 6

Date: 11/12/2002

FINRA

Current Firm

M. S. HOWELLS & CO.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

M. S. HOWELLS & CO.

TRUST BUT VERIFY

Similar Advisors